| 2019.01.08 |
Why Work With a CEFEX Advisor? This animated video is intended for the clients of CEFEX-certified advisors. It describes the benefits of using a CEFEX-certified advisor. Client types are individual investors, foundations and retirement plans. This version has been approved by at least one major RIA compliance department. Length: 2 minutes. Click to watch video Video location: www.youtube.com/embed/k0xtbYLQt24 |
| 2018.04.16 |
CEFEX Explained on Asset TV Blaine Aikin, Executive Chairman of CEFEX provides descriptions of CEFEX's mission, types of clients, certification process, standard, relevance to reputation and marketing advantages. This video is from an interview on Asset-TV (4.5 minutes). Click to watch video Video location: www.assettv.com/player/default-player/202986 |
| 2018.01.24 |
Why Work With a CEFEX advisor - Foundation/Non-profit Version This animated video is intended for non-profit, foundation, endowment and charity clients of CEFEX-certified advisors. (2 minutes) Click to watch video Video location: www.youtube.com/embed/yQoz7FG_jQg |
| 2018.01.09 |
CEFEX and the DOL's Impartial Conduct Standard Carlos Panksep, Managing Director, CEFEX introduces the legal opinion letter which accompanies certification, stating that certified firms adhere to the new DOL regulation. Click to watch video Video location: www.youtube.com/embed/0BMid0q1qSA |
| 2017.10.19 |
Why an Individual Should Work With a CEFEX Advisor This animated video is intended for the INDIVIDUAL clients of CEFEX-certified advisors. It is suitable for use in any country, since US references are removed. Length: 2 min. Click to watch video Video location: www.youtube.com/embed/LazrXcuDquk |
| 2017.10.18 |
CEFEX and Trust Carlos Panksep, Managing Director, CEFEX explains: "How CEFEX increases trust in the financial services industry" ( 2.31 m) Click to watch video Video location: www.youtube.com/embed/jbuyUCBJjrw |
| 2017.10.02 |
CEFEX Recordkeeper Certification Carlos Panksep, Managing Director CEFEX explains "What it means for a recordkeeper to be CEFEX-certified". (2:40 m) We also have an abridged version of this video (2:13 m). Please contact us for this link. Click to watch video Video location: www.youtube.com/embed/9jU-MsZQSso |
| 2017.10.02 |
Certification of Non-Profit Organizations Carlos Panksep, Managing Director CEFEX explains "What it means for a non-profit organization to be CEFEX-certified." (2:54 m) An abridged version (1:54 m) is available. Please contact CEFEX for link. Click to watch video Video location: //www.youtube.com/embed/j8Ph_rJ_atw |
| 2017.06.05 |
Advisor Perspectives Plancorp, LLC answers questions: Why did Plancorp get CEFEX-certified? How does CEFEX enhance client messaging? How do Plancorp's clients benefit from your firm being certified? Click to watch video Video location: //www.youtube.com/embed/77F9OmC01Gc |
| 2017.05.22 |
CEFEX Defined Carlos Panksep, Managing Director, CEFEX explains “What it means to be CEFEX-certified." (1:50 m) Click to watch video Video location: //www.youtube.com/embed/T5vnSuby4sY |
| 2017.05.18 |
Benefits to Plan Sponsor Carlos Panksep, Managing Director, CEFEX explains "How does a plan sponsor benefit from its advisor being CEFEX-certified?" (1:46 m) Click to watch video Video location: //www.youtube.com/embed/duopIJodi3k |
| 2017.05.17 |
CEFEX Advisory Firm Defined Carlos Panksep, Managing Director, CEFEX explains “What it means for an advisory firm to be CEFEX-certified." (1:39 m)” Click to watch video Video location: //www.youtube.com/embed/NpENJ9oqpYE |
| 2017.05.16 |
CEFEX Investment Outcome Carlos Panksep, Managing Director, CEFEX responds to "Does fiduciary certification affect investment outcome?" (1:52 m) Click to watch video Video location: //youtube.com/embed/H0DbbfLKiDM |
| 2017.05.15 |
CEFEX and the Individual Investor Carlos Panksep, Managing Director, CEFEX explains "How does an individual investor benefit from his/her advisor being CEFEX-certified?" (1:48 m) Click to watch video Video location: //youtube.com/embed/HPAIGBpKcTc |
| 2017.05.04 |
CEFEX TPA Benefits to Advisor Carlos Panksep, Managing Director, CEFEX explains "How does an advisor benefit from partnering with a CEFEX-certified TPA?" (2:50 m) Click to watch video Video location: //www.youtube.com/embed/tGa48ZUWasA |
| 2017.05.03 |
CEFEX TPA Certification Carlos Panksep, Managing Director CEFEX explains "What it means for a Third Party Administrator to be CEFEX-certified". (2:25 m) Click to watch video Video location: //www.youtube.com/embed/QUeVRInwCqo |
| 2017.05.03 |
CEFEX Investment Outcome - International Carlos Panksep, Managing Director, CEFEX responds to: "Does fiduciary certification affect investment outcome?" - edited for use in international markets. (1:33 m) Click to watch video Video location: //youtube.com/embed/w-Ay31eM3T4 |
| 2017.05.03 |
Advisor Perspective - Working with a CEFEX TPA Susan Conrad, Director Retirement Plan Advisors, Plancorp, LLC describes her experience working with a CEFEX-certified TPA. (1:35 m) Click to watch video Video location: //youtube.com/embed/IufEtnuhiTM |
| 2019.12.03 |
Concentration of Excellence This is an example of a marketing piece requested by a CEFEX firm, which is based on the physical proximity of 8 certified TPAs, thereby creating a specialized message for retirement plans in the area. CEFEX welcomes ideas for how to increase awareness. View Link location: http://www.cefex.org/downloads/Marketing/Concentration_of_Excellence.pdf |
| 2019.06.17 |
Service Provider Brochure re Independent Assessment Report This 2 page brochure describes the new CEFEX Independent Assessment Report. The IAR is a unique way for the certified service provider to strengthen client and partner relationships. It serves as documentation which supports the selection and monitoring of certified recordkeepers or TPAs. View Link location: http://www.cefex.org/downloads/Marketing/CEFEX_Service_Provider_IAR_Overview_Digital.pdf |
| 2019.06.13 |
Advisor Brochure re Independent Assessment Report This 2 page brochure describes the new CEFEX Independent Assessment Report. The IAR is a unique way for the certified Advisor to strengthen client relationships. It serves as documentation which supports the selection and monitoring of a certified Investment Advisor. View Link location: http://www.cefex.org/downloads/Marketing/CEFEX_IAR_Overview_2pg_Digital.pdf |
| 2018.12.13 |
What Is A Fiduciary? This 1 page brochure simply describes the essential roles of a fiduciary supported by a statement on CEFEX certification. This brochure can be helpful for CEFEX advisors needing to differentiate themselves from non-fiduciaries. View Link location: http://www.cefex.org/downloads/marketing/WhatIsAFiduciary.pdf |
| 2018.10.17 |
What You Need To Know About Fiduciary Responsibility This 8 page brochure contains basic information on the role of the Plan Sponsor as a fiduciary. It can be helpful to those who are looking to help a plan sponsor determine if a fiduciary assessment could help. View Link location: http://www.cefex.org/downloads/marketing/CEFEX_Plan_Sponsor_Fiduciary.pdf |
| 2018.09.18 |
Brochure for Recordkeepers: Value of Your Certification to Plan Sponsors View Link location: http://www.cefex.org/downloads/marketing/CEFEX_Recordkeeper_Overview_Value_To_Plan_Sponsor.pdf |
| 2018.09.18 |
Brochure for TPAs - Value of Certification to Plan Sponsors View Link location: http://www.cefex.org/downloads/marketing/CEFEX_TPA_Overview_Value_To_Plan_Sponsor.pdf |
| 2018.07.25 |
Fiduciary Assessments for Plan Sponsors This brochure explains the benefits for a Plan Sponsor in undertaking a CEFEX fiduciary assessment. View Link location: http://www.cefex.org/downloads/marketing/BROCHURE_CEFEX_Fiduciary_Assess_Plan_Sponsors.pdf |
| 2018.07.25 |
Fiduciary Assessments for NonProfits This brochure explains the benefits for a non-profit organization in undertaking a CEFEX fiduciary assessment. View Link location: http://www.cefex.org/downloads/marketing/BROCHURE_CEFEX_Fiduciary_Assess_NonProfit.pdf |
| 2017.05.24 |
Fiduciary Breach Lawsuit List This is a list of ERISA class action lawsuits filed in 2015 and 2016. It's an indication that many participants cannot be sure about the quality of their retirement plans. CEFEX-certified advisors can facilitate the certification of their own retirement plan clients, and give participants assurance. View Link location: http://www.cefex.org/downloads/Fiduciary_Breach_Lawsuit_Listing.pdf |
| 2017.05.18 |
CEFEX-certification Process This is an overview of the 5 step process for CEFEX-certification. View Link location: http://www.cefex.org/downloads/CEFEX_Assessment_Overview_1_Page.pdf |
| 2017.05.18 |
ASPPA Brochure ASPPA TPA and Recordkeeper information including details on the standard and how to get started. View Link location: http://www.cefex.org/downloads/CEFEX_ASPPA_Brochure_Generic.pdf |
| 2017.05.18 |
The Benefits of Certification to the Service Provider’s Clients Reasons why retirement plan sponsors should hire CEFEX-certified recordkeepers and administrators. View Link location: http://www.cefex.org/downloads/CEFEX_Certification_Benefits_to_ASPPA_clients.pdf |
| 2017.05.18 |
ASPPA Service Provider Certification - Detailed Practices Information The Standard of Practice for Retirement Plan Recordkeepers and Administrators View Link location: http://www.cefex.org/downloads/CEFEX_ASPPA_Certification_Detail.pdf |
| 2017.05.18 |
TPA Letter to Advisors This is a letter that is sent from a certified TPA to regional advisors to help create partnerships. View Link location: http://www.cefex.org/downloads/TPA_Letter_to_Advisors_CEFEX.pdf |
| 2017.05.18 |
CEFEX-certification for Retirement Plans This brochure describes the benefits of the Investment Steward CEFEX-certification to the employer. View Link location: http://www.cefex.org/downloads/CEFEX_Brochure_Employer.pdf |
| 2017.05.18 |
CEFEX-certification for Retirement Plans This brochure describes the benefits of the Investment Steward CEFEX-certification to the employee. View Link location: http://www.cefex.org/downloads/CEFEX_Brochure_Employee.pdf |
| 2017.05.14 |
Benefits of using a CEFEX Advisor This one-page brochure describes the benefits of using a CEFEX advisor. View Link location: http://www.cefex.org/downloads/Benefits_to_CEFEX_Advisor_Clients.pdf |
| 2017.05.13 |
CEFEX Advisor Brochure Road to Security - Wealth Management Brochure used by CEFEX advisors to individuals. Explains fiduciary role. Can be co-branded by advisor. View Link location: http://www.cefex.org/downloads/CEFEX_Advisor_Brochure_Road_to_Security_WM.pdf |
| 2017.05.12 |
CEFEX Advisor Brochure Road to Security Brochure used by CEFEX advisors to qualified plans. Explains fiduciary role. Can be co-branded by advisor. View Link location: http://www.cefex.org/downloads/CEFEX_Advisor_Brochure_Road_to_Security.pdf |
| 2017.05.03 |
Advisor Marketing Opportunity: Getting Steward Clients Certified You value your CEFEX certification. You can now pass that value on to your clients. This brochure will explain how a CEFEX-certified Advisor to Retirement Plans, Foundations, and Governmental Organizations can strengthen the relationship that they have with their clients. View Link location: http://www.cefex.org/downloads/Advisor_Steward_Client_Certification.pdf |
| 2020.03.09 |
How Advisors are Continually Improving This article includes the top 5 Fiduciary Practices where Advisors are improving, along with quotes from certified firms. View Link location: https://401kspecialistmag.com/how-advisors-are-continually-improving-cefex-perspectives/ |
| 2019.01.17 |
2018: A Breakout Year for CEFEX CEFEX has certified more than 240 organizations in 8 countries which cumulatively oversee $500B in assets. View Link location: http://www.cefex.org/downloads/CEFEX_News_Release_2018_Year_End.pdf |
| 2018.07.11 |
CEFEX Renews 45 Certifications for Fiduciary Excellence in Q2 2018 Read more here... View Link location: http://www.cefex.org/downloads/Cefex_Press_Release2018-07-11.pdf |
| 2018.06.11 |
The Progression to Excellence This short blog article describes how CEFEX certification is the pinnacle of fiduciary achievement within the Fi360 product line-up. It is derived from a speech given by Blaine Aikin, Executive Chairman, Fi360 and CEFEX. View Link location: https://www.fi360.com/blog/post/progression-to-excellence-why-you-dont-need-to-wait-to-be-great |
| 2018.05.01 |
CEFEX Recognizes 12 Firms for 10 Years of Certification CEFEX makes announcement at Fi360 Annual Conference in San Diego. Congratulations to firms celebrating a decade of excellence! View Link location: http://www.cefex.org/downloads/CEFEX_10_Year_Recognition_Release.pdf |
| 2018.02.28 |
CEFEX Certification: The 'Gold Standard' in TPA Validation Jason Brown, principal at Benefit Plans Plus, LLC describes how CEFEX certification is one of the cornerstone attributes of an 'alpha' TPA. This article appeared in the Winter 2018 edition of Plan Consultant Magazine, an official publication of ASPPA. View Link location: http://www.cefex.org/downloads/Articles/CEFEX_article_winter_2018.pdf |
| 2018.01.30 |
Blaine Aikin on NASDAQ-TV In this exclusive interview on NASDAQ-TV's "TradeTalks" program Mr. Aikin discusses the CEFEX mission and how the DOL’s Fiduciary Rule plays into our certification program. View Link location: https://www.youtube.com/watch?v=5tnd3GVznMc&feature=youtu.be |
| 2018.01.17 |
Announcement regarding Blaine F. Aikin and Legal Opinion Letter CEFEX is pleased to announce the appointment of Blaine F. Aikin, AIFA ®, CFA, CFP® as Executive Chairman of the company. In conjunction with this industry leader appointment, CEFEX is enhancing its Investment Advisor certification program by directly addressing conformity to the DOL Rule with respect to Impartial Conduct Standards. Firms certified by CEFEX in the United States will continue to receive a legal opinion letter issued by the law firm Drinker, Biddle & Reath, now stating that they have practices and procedures in place that satisfy the Impartial Conduct Standards, including the best interest standard of care in the DOL’s BICE or Prohibited Transaction Exemption 2016-01. View Link location: http://www.cefex.org/downloads/CEFEX_News_Release_Aikin_ICS.pdf |
| 2021.05.04 |
CEFEX Certification Case Study: Plancorp and Bossier Parish Community College This case study describes how Plancorp, a CEFEX certified advisor facilitated the certification of a non-profit organization. View Link location: http://www.cefex.org/downloads/articles/CEFEX_Case_Study_Plancorp_BPCC.pdf |
| 2021.05.04 |
CEFEX Certification Case Study: Great Lakes This case study describes how Great Lakes Pension Associates, Inc of Michigan, benefits from its certification. View Link location: http://www.cefex.org/downloads/articles/CEFEX_Case_Study_Great_Lakes.pdf |
| 2019.11.12 |
Case Study - Paskenta Band of Nomlaki Indians This case study tells the fascinating story of this tribe's journey to fiduciary excellence culminating in CEFEX Investment Steward certification. View Link location: http://www.cefex.org/downloads/Articles/CEFEX_Case_Study_Paskenta.pdf |
| 2018.09.20 |
CEFEX Certification Case Study: Community Foundation of Northwest Mississippi This case study describes the steps taken by CFNM to achieve CEFEX Investment Steward certification. View Link location: http://www.cefex.org/downloads/articles/CEFEX_Case_Study_CFNM.pdf |
| 2018.07.17 |
Fiduciary Conduct And Your Reputation. What's Trust Worth As An Investment Steward? This white paper is for investment stewards. A great reputation is your organization's most valuable asset. Stewards should strive to be recognized as trustworthy caretakers of other people's money. There are specific fiduciary practices that can be managed to help build a great reputation. Read this white paper by Blaine F. Aikin, Executive Chairman, CEFEX and Fi360. View Link location: http://www.cefex.org/downloads/articles/Aikin_Whitepaper_Reputation_Steward.pdf |
| 2018.03.18 |
Fiduciary Conduct and Your Reputation A company’s (or a person’s) reputation is a measure of how others perceive their quality and character. It is the consensus opinion of whether that company can be trusted. Investment advisors must be perceived as trustworthy. Without trust, there is no basis for an advisory relationship and the business cannot exist. Written by Blaine Aikin, AIFA®, CFA, CFP®, Executive Chairman, Fi360 and CEFEX View Link location: http://www.cefex.org/downloads/articles/Aikin_Whitepaper_Reputation.pdf |
| 2018.02.02 |
CEFEX Now Verifies Conformity to Impartial Conduct Standards Recording and slides from our webinar on Feb 1, 2018 featuring Fred Reish, partner Drinker, Biddle & Reath and Blaine Aikin, Executive Chairman, CEFEX. Fred and Blaine review the CEFEX assessment questions related to the Fiduciary Rule's Impartial Conduct Standards. View Link location: https://player.vimeo.com/video/253857114 |
| 2018.01.29 |
Testimonial: CEFEX certification and SEC audit Read how CEFEX certification was a factor in the SEC electing to reduce the scope of an Investment Advisor examination. View Link location: http://www.cefex.org/downloads/CEFEX_Testimonial_re_SEC_audit.pdf |
| 2018.01.08 |
Testimonials re CEFEX certification Read testimonials regarding the benefits of CEFEX certification from Investment Advisors. View Link location: http://www.cefex.org/downloads/CEFEX_Testimonials_Advisors_2018.pdf |
| 2017.05.18 |
The Case for CEFEX A White Paper on the 'The Case for Using a CEFEX Investment Advisor in a US Retirement Plan.' View Link location: http://www.cefex.org/downloads/Articles/White_Paper_The_Case_for_CEFEX.pdf |
| 2017.05.09 |
White Paper: Community Foundations 'Why Community Foundations and Charities with Foundations Need to Think About Their Investment Governance' This White Paper explains how CEFEX can help. View Link location: http://www.cefex.org/downloads/Articles/White_Paper_Community_Foundations_CEFEX.pdf |
| 2017.05.08 |
White Paper: SRI 'Socially Responsible Investing: What Fiduciary Investment Boards Need to Know'. This White Paper describes how fiduciary obligations are affected by SRI. View Link location: http://www.cefex.org/downloads/Articles/White_Paper_SRI_CEFEX.pdf |
| 2015.05.06 |
Voices: Russ Hill, on Why Firms Should Get CEFEX Certification Russ Hill is chairman and CEO of Halbert Hargrove of Long Beach CA. He wrote this piece for the Wall Street Journal. CEFEX has purchased copies of this article. Please contact CEFEX. View Link location: http://www.cefex.org/downloads/WSJ_Voices_Hill_On_CEFEX.pdf |
| 2014.12.15 |
Tibble Vs. Edison Amicus Brief Filed CEFEX Analyst Firm Cambridge Fiduciary Services files an amicus brief with the U.S. Supreme Court regarding the use of retail cost mutual funds when lower cost institutional class funds are available. View Link location: http://www.cefex.org/downloads/Amicus_Brief_Cambridge_Tibble.pdf |
| 2014.05.20 |
CEFEX adds data security requirements into certifcation CEFEX has expanded its assessment guidelines to include more data security questions, reflecting the heightened sensitivity to this issue and the ever increasing risk of data security breaches. We know that CEFEX-certified firms strive to implement the industry's best practices when it comes to protecting investor information. View Link location: http://www.cefex.org/downloads/CEFEX_News_Release_Data_Security.pdf |
| 2014.03.17 |
fi360 and CEFEX provide comments to SEC Strategic Plan fi360 and CEFEX propose the introduction of third party audits to help the SEC address the growing challenges of regulating the investment advisor industry. View Link location: http://www.cefex.org/downloads/fi360_comments_SEC_Strategic_Plan.pdf |
| 2014.03.07 |
CEFEX Gaining Adoption CEFEX designations are gaining more widespread adoption, and some say that working with an adviser with the designation could benefit plan sponsors. Article in PlanSponsor. View Link location: http://www.plansponsor.com/CEFEX_Designated_Advisers_Offer_Sponsors_Fiduciary_Muscle.aspx |
| 2013.04.24 |
CEFEX delivers first independent fee disclosure assessment News release describing how CEFEX enables the delivery of 408(b)(2) legal opinion letters to plan sponsor clients of Gordon Asset Management, from law firm Drinker, Biddle & Reath. View Link location: http://www.cefex.org/downloads/CEFEX_RELEASE_Opinion_Letter_DBR_GAM.pdf |
| 2012.10.10 |
The 408(b)(2) Trap for Plan Sponsors Plan sponsors and their officers who make 401(k) decisions, face lawsuits and penalties if they do not take steps to comply with the new regulatory requirements. This is a CEFEX Expert Commentary from Fred Rreish of Drinker, Biddle & Reath, LLP. View Link location: http://www.cefex.org/downloads/CEFEX_Commentary_Reish_SPD.pdf |
| 2012.06.10 |
CEFEX Analyst Commentary: Fiduciary Wake-Up Call CEFEX Analyst, Roger Levy comments on the fiduciary implications of the recent Tussey v. ABB court decision. View Link location: http://www.cefex.org/downloads/CEFEX_Commentary_Fiduciary_Wake-up.pdf |
| 2012.04.30 |
The Fiduciary Assessment of an Investment Advisor This article appeared in the Spring 2012 edition of ASPPA's "Plan Consultant" magazine. It describes a complete fiduciary assessment of an Investment Advisor, and may be helpful to CEFEX-certified Advisors who need material for client prospects. View Link location: http://www.cefex.org/downloads/Plan_Consultant_Article_Spring_2012_Advisor_Assessment.pdf |
CEFEX, Centre for Fiduciary Excellence
2 Chatham Center
Pittsburgh, PA 15219
866-390-5080